2018: No. 2 June. Filing: File the amended pages in your Member s Manual as follows:

Transcription

1 2018: No. 2 June Law Society Rules 2015:* Substantive rule amendments implement the regulation of law firms by the Law Society, including the appointment of designated representatives, information sharing between firms and the Society and the self-assessment process; also, a number of consequential amendments bring the rules into alignment with the Legal Profession Act provisions that were proclaimed on April 2, 2018 (definitions of complainant, complaint, conduct unbecoming the profession, disciplinary record, discipline violation, law firm or firm and trust funds and Rules to , 3-1, 3-2, 3-3(4.1), 3.5(9), 3-23(2.1), 3-51(2), 3-53, 3-88, 4-1(1), (2) and (4), 4-4(1), 4-7, 4-8(4.1), 4-10(2), 4-12(1), 4-13(6), 4-15(3), 4-16, 4-38(7), 4-44(1), 5-1(2), 5-5(1), 9-11(1) and Schedule 1, L., 4 and 5: pp , 17, 44, 44.1, , 113, 126, 128, 147, , 176, 178, 187, 188, 208 and 218). New Rule clarifies that functions nominally assigned to the Executive Director may be performed by individuals employed or retained by the Law Society in the course of their employment or retainer; the definition of Executive Director is consequently rescinded (p. 37). The Executive Director, rather than the Discipline Committee, now has the discretion to waive the fee for late filing of trust account where special circumstances exist (Rules 2-85(7), 3-80(4) and 5-14: pp. 86, 142 and 193). The Complainants Review Committee and Practice Standards Committee are authorized to refer matters to the Executive Director for further investigation (Rules 3-14(5) and 3-17(6): pp. 108 and 110). Two minor past errors are corrected (Rules 2-104(7) and 5-12(4) and (5): pp. 96 and 192). Rules were amended in December 2017, effective July 1, 2018, to provide regulations to allow lawyers to transfer trust funds electronically using an online banking platform (Rules 3-64(4) and (6) to (8), , , 3-65(1), (1.1) and (2) and 3-66(2): pp ). After pages are replaced, refer to the Law Society website for provisions that are in effect until June 30, *Historical notes are published only in the website version of the Rules. Filing: File the amended pages in your Member s Manual as follows: Manual section Existing pages to be removed Amendment pages to be inserted Law Society Rules , [continued over]

2 Manual section Existing pages to be removed Amendment pages to be inserted Law Society Rules After filing, insert this sheet at the front of the Manual for reference , Updates: This amendment package updates the Member s Manual to June 4, 2018 [note: includes rule changes adopted by the Benchers in December 2017, but made effective July 1, 2018; see Highlights above]. The previous amendment package was 2018: No. 1 March. To check that your copy of the Manual is up to date, consult the contents checklist on the next page. If you have further questions about updating your Manual, contact the Communications department: telephone or toll-free or communications@lsbc.org. Website: The Legal Profession Act, Law Society Rules and Code of Professional Conduct for British Columbia can be accessed in the Support & Resources for Lawyers section of the Law Society website at in both HTML (for online use) and PDF (for printout, including printout of Member s Manual replacement pages). Refer to the Law Society website for the most current versions of the Act, Rules and Code.

3 MEMBER S MANUAL CONTENTS CHECKLIST 2018: No. 2 June The following list of pages and tabs can be used to verify that your Member s Manual is complete and up to date. Section of Manual Pages Dated Section of Manual Pages Dated Divider tab: LEGAL PROFESSION ACT Title page Table of Contents 1 4 [06/2016] 5 6 [03/2018] 7 8 [06/2016] 9 14 [12/2012] [06/2016] [12/2012] [03/2018] [06/2016] [12/2012] [06/2016] [03/2018] [12/2012] [03/2018] [12/2012] [09/2011] [07/07] [12/98] [03/2018] [03/2013] [07/2010] [06/2016] [12/98] [12/2012] [03/2018] [09/2014] Divider tab: LAW SOCIETY RULES Title page Table of Contents 1 10 [06/2017] Text [06/2018] [12/2017] [06/2018] [12/2015] 23 26, [06/2017] [06/2015] [03/2018] [12/2015] [06/2018] [06/2015] 43 44, [06/2018] [06/2017] [06/2015] [06/2017] [06/2015] [12/2017] [06/2017] [06/2018] [12/2017] [09/2016] [06/2018] [06/2015] [06/2017] [06/2018] [06/2015] [06/2018] [12/2017] [03/2017] [06/2017] [06/2018] [09/2016] , [06/2018] [06/2015] [06/2018] [12/2015] [06/2015] [06/2018] [12/2017] [06/2015] [12/2015] Text (continued) [06/2015] [06/2018] [06/2015] [09/2016] [06/2018] [09/2016] [06/2015] [06/2018] [06/2015] [06/2018] [09/2016] [06/2015] [06/2018] [06/2015] [09/2016] [06/2015] [06/2018] [12/2017] [06/2015] Divider tab: CODE OF PROFESSIONAL CONDUCT / PROFESSIONAL CONDUCT HANDBOOK Title page Table of Contents i vi [06/2017] Introduction vii viii [03/2017] Text 1 2 [12/2013] 3 10 [12/2012] [12/2016] [12/2013] [03/2017] [06/2013] [12/2012] [12/2016] [12/2012] 33 38, [12/2016] [06/2013] [12/2012] [06/2013] [06/2015] [12/2015] [12/2012] [03/2017] [12/2014] [12/2012] 63 64, [03/2017] [12/2012] [09/2014] [12/2012] [12/2015] [06/2013] [12/2012] 83 84, [12/2013] [12/2012] [06/2016] [12/2012] [03/2013] [12/2015] [03/2015] [12/2016] deleted [12/2012] [12/2015] Divider tab: INSURANCE POLICIES Policy No. LPL [12/2017] Divider tab: ARTICLING Text 1 2 [06/03] 3 4 [07/09] 5 8 [06/03]

4

5 RULE 1 DEFINITIONS Definitions 1 In these rules, unless the context indicates otherwise: Act means the Legal Profession Act, SBC 1998, c. 9; admission program means the program for articled students administered by the Society or its agents, commencing on an articled student s enrolment start date and including the period during which the student is (a) articled to a principal, or (b) registered in the training course; advertising includes letterhead, business cards and the use of paid space or time in a public medium, or the use of a commercial publication such as a brochure or handbill, to communicate with the general public or a group of people, for the purpose of promoting professional services or enhancing the image of the advertiser; agreed statement of facts means a written statement of facts signed by discipline counsel and by or on behalf of the respondent; applicant means a person who has applied under Part 2 [Membership and Authority to Practise Law] for enrolment as an articled student, for call and admission or for reinstatement; appointed Bencher means a person appointed as a Bencher under section 5 [Appointed benchers]; articled student means a person who is enrolled in the admission program; articling agreement means a contract in a form approved by the Credentials Committee executed by an applicant for enrolment and his or her prospective principal; articling start date means the date on which an articled student begins employment with his or her principal; articling term means the 9 month period referred to in Rule 2-59 [Articling term]; Barreau means the Barreau du Québec; Bencher does not include the Attorney General unless expressly stated; chair means a person appointed to preside at meetings of a committee, panel or review board; Chambre means the Chambre des notaires du Québec; company means a company as defined in the Business Corporations Act; [06/2018] 11

6 Law Society Rules complainant means a person who has delivered a complaint about a lawyer or a law firm to the Society under Rule 3-2 [Complaints]; complaint means an allegation that a lawyer or a law firm has committed a discipline violation; conduct unbecoming the profession includes a matter, conduct or thing that is considered, in the judgment of the Benchers, a panel or a review board, (a) to be contrary to the best interest of the public or of the legal profession, or (b) to harm the standing of the legal profession; costs includes costs assessed under Rule 3-25 [Costs] or 3-81 [Failure to file trust report] or Part 5 [Hearings and Appeals]; disbarred lawyer means a person to whom section 15 (3) [Authority to practise law] applies; disciplinary record includes any of the following, unless reversed on appeal or review: (a) any action taken by a governing body as a result of (i) professional misconduct, (ii) incompetence, (iii) conduct unbecoming the profession, (iv) lack of physical or mental capacity to engage in the practice of law, (v) any other breach of a lawyer s professional responsibilities; (b) disbarment; (c) a lawyer s resignation or otherwise ceasing to be a member of a governing body as a result of disciplinary proceedings; (d) restrictions or limits on a lawyer s entitlement to practise, other than those imposed as a result of failure to pay fees to a governing body, insolvency or bankruptcy or other administrative matter; (e) any interim suspension or restriction or limits on a lawyer s entitlement to practise imposed pending the outcome of a disciplinary hearing. discipline violation means any of the following: (a) professional misconduct; (b) conduct unbecoming the profession; (c) a breach of the Act or these rules; (d) incompetent performance of duties undertaken by a lawyer in the capacity of a lawyer; (e) conduct that would constitute professional misconduct, conduct unbecoming the profession or a contravention of the Act or these rules if done by a lawyer or law firm; 12 [06/2018]

7 Definitions enrolment start date means the date on which an articled student s enrolment in the admission program becomes effective; Executive Committee means the Committee elected under Rule 1-41 [Election of Executive Committee]; Executive Director [rescinded] fiduciary property means (a) funds, other than trust funds, and valuables for which a lawyer is responsible in a representative capacity or as a trustee, if the lawyer s appointment is derived from a solicitor-client relationship, but does not include (b) any funds and valuables that are subject to a power of attorney granted to the lawyer if the lawyer has not taken control of or otherwise dealt with the funds or valuables; firm [rescinded see law firm or firm ] foreign jurisdiction means a country other than Canada or an internal jurisdiction of a country other than Canada; Foundation means the Law Foundation of British Columbia continued under section 58 (1) [Law Foundation of British Columbia]; funds includes current coin, government or bank notes, bills of exchange, cheques, drafts, money orders, charge card sales slips, credit slips and electronic transfers; general in relation to accounts, books, records and transactions means those pertaining to general funds; general funds means funds received by a lawyer in relation to the practice of law, but does not include (a) trust funds, or (b) fiduciary property; governing body means the governing body of the legal profession in another province or territory of Canada; inter-jurisdictional law firm means a firm carrying on the practice of law in British Columbia and in one or more other Canadian or foreign jurisdictions, unless all lawyers in all offices of the firm are practising lawyers; [06/2018] 13

8 Law Society Rules inter-jurisdictional practice includes practice by a member of the Society in another Canadian jurisdiction; investigate includes authorizing an investigation and continuing an investigation in progress; law clerk means a law clerk employed by a judge appointed under section 96 of the Constitution Act, 1867, or a judge of the Supreme Court of Canada, the Federal Court, the Federal Court of Appeal or the Tax Court of Canada; law firm or firm means a legal entity or combination of legal entities carrying on the practice of law; lawyer means a member of the Society; limited liability partnership or LLP means a limited liability partnership under Part 6 of the Partnership Act, including an extraprovincial limited liability partnership registered under that Part; metadata includes the following information generated in respect of an electronic record: (a) creation date; (b) modification dates; (c) printing information; (d) pre-edit data from earlier drafts; (e) identity of an individual responsible for creating, modifying or printing the record; multi-disciplinary practice or MDP means a partnership, including a limited liability partnership or a partnership of law corporations, that (a) is owned by at least one lawyer or law corporation and at least one individual non-lawyer or professional corporation that is not a law corporation, and (b) provides to the public legal services supported or supplemented by the services of another profession, trade or occupation; National Mobility Agreement means the National Mobility Agreement, 2013, of the Federation of Law Societies of Canada, as amended from time to time; net interest means the total interest earned on a pooled trust account, minus any service charges and transmittal fee that the savings institution charges to that account; 14 [06/2018]

9 Definitions qualified CPA means a person in public accounting practice who is permitted to perform audit engagements by the Organization of Chartered Professional Accountants of British Columbia; reciprocating governing body (a) means a governing body that has signed the National Mobility Agreement, and adopted regulatory provisions giving effect to the requirements of the National Mobility Agreement, and (b) includes a governing body that has signed the Territorial Mobility Agreement and adopted regulatory provisions giving effect to the requirements of the Territorial Mobility Agreement; record includes metadata associated with an electronic record; remedial program includes anything that may be recommended by the Practice Standards Committee under Rule 3-19 (1) (b) [Action by Practice Standards Committee]; respondent means a person whose conduct or competence is (a) the subject of a citation directed to be issued under Rule 4-17 (1) [Direction to issue, expand or rescind citation], or (b) under review by a review board under section 47 [Review]; review board means a review board established in accordance with Part 5 [Hearings and Appeals]; rule or subrule means a rule or subrule contained in these rules; Second Vice-President-elect means the Bencher elected under Rule 1-19 [Second Vice-President-elect], from the time of the election until he or she takes office as Second Vice-President; section means a section of the Legal Profession Act; Society means the Law Society of British Columbia continued under section 2 (1) [Incorporation]; suspension means temporary disqualification from the practice of law; Territorial Mobility Agreement means the 2006 Territorial Mobility Agreement of the Federation of Law Societies of Canada, as amended from time to time. training course includes any assessments, examinations or remedial work taken during or after the training course, or an educational program required by the Credentials Committee; trust funds includes funds received in trust by a lawyer or law firm acting in that capacity, including funds (a) received from a client for services to be performed or for disbursements to be made on behalf of the client, or (b) belonging partly to a client and partly to the lawyer or law firm if it is not practicable to split the funds; [06/2018] 17

10 Law Society Rules valuables means anything of value that can be negotiated or transferred, including but not limited to (a) securities, (b) bonds, (c) treasury bills, and (d) personal or real property; vice-chair means a person appointed to preside at meetings of a committee in the absence of the chair; visiting lawyer means a member of a governing body who is qualified to practise law in another Canadian jurisdiction. 18 [06/2018]

11 Part 1 Organization (8) All Benchers appointed, or eligible to be appointed, for a term that includes all or part of the calendar year for which members of the Executive Committee are to be elected are eligible for election to the Executive Committee under subrule (7). (9) All appointed Benchers present are entitled to vote for the member of the Executive Committee under subrule (7). (10) If a vote is required for an election under this rule, (a) it must be conducted by secret ballot, (b) a ballot must be rejected if it contains votes for more candidates than there are positions to be filled, and (c) when more than one Bencher is to be elected, the candidates with the most votes, up to the number of positions to be filled, are elected. (11) If, because of a tie vote or for any other reason, the Benchers fail to elect 3 members of the Executive Committee under subrule (1), or if a vacancy occurs in any position elected under this rule, the Benchers or the appointed Benchers, as the case may be, must hold an election to fill the vacancy at the next regular meeting of the Benchers Date falling on Saturday, Sunday or holiday 1-42 If the time for doing an act in this division falls or expires on a day when the Society office is not open during regular business hours, the time is extended to the next day that the office is open [rescinded 12/2015] Extension of dates 1-44 The Executive Committee may, on application by the Executive Director, extend any date stated in Rule 1-20 to Executive Director s delegate General (1) Any power or authority delegated to the Executive Director under these rules may be exercised by the Executive Director s delegate. (2) In the absence of evidence to the contrary, an employee of the Society or a person retained by the Society is the Executive Director s delegate when acting within the scope of his or her employment or retainer to exercise a power or authority delegated to the Executive Director under these rules. [06/2018] 37

12 Law Society Rules Seal 1-45 (1) Subject to subrule (2), the seal of the Society may be affixed to a document in the presence of (a) 2 persons, one of whom must be the President or a Vice-President, and the other of whom must be an officer of the Society, or (b) one or more persons appointed by resolution of the Executive Committee. (2) The seal may be affixed in the presence of any one of the persons referred to in subrule (1) in the case of (a) a certificate, or (b) a document that certifies true copies of any document or resolution. (3) The person or persons in whose presence the seal is affixed must sign the certificate or document of certification. Laying of information 1-46 Any information alleging an offence against the Act may be laid in the name of the Society on oath of an officer of the Society or a member of the Executive Committee. Freedom of Information and Protection of Privacy Act 1-47 The Executive Director is designated as the head of the Society for the purposes of the Freedom of Information and Protection of Privacy Act. Appointment of Law Society counsel 1-48 (1) Subject to Rule 1-51 (a) [Powers and duties], the Executive Director may appoint an employee of the Society or retain another lawyer to advise or represent the Society in any legal matter. (2) When Rule 1-51 (a) [Powers and duties] applies and it is not practicable to call a meeting of the Executive Committee before the advice of counsel is required, the Executive Director may appoint counsel on an interim basis. Division 2 Committees Committees of the Benchers 1-49 Subject to these rules, the President may (a) appoint any person as a member of a committee of the Benchers, and (b) terminate the appointment. 38 [06/2018]

13 Part 1 Organization Executive Committee 1-50 The Executive Committee consists of the following Benchers: (a) the President; (b) the First and Second Vice-Presidents; (c) the Second Vice-President-elect, if not elected under paragraph (d); (d) 3 other Benchers elected under Rule 1-41 (1) [Election of Executive Committee]; (e) one appointed Bencher elected under Rule 1-41 (7). (2) The President is the chair of the Executive Committee, and the First Vice-President is the vice chair. (3) The Executive Committee is accountable and reports directly to the Benchers as a whole. Powers and duties 1-51 The powers and duties of the Executive Committee include the following: (a) authorizing appointment of counsel to advise or represent the Society when the Society is a plaintiff, petitioner or intervenor in an action or proceeding; (b) authorizing the execution of documents relating to the business of the Society; (c) appointing persons to affix the seal of the Society to documents; (d) approving forms under these rules; (e) approving agreements relating to the employment, termination or resignation of the Executive Director and the remuneration and benefits paid to him or her; (f) assisting the President and Executive Director in establishing the agenda for Bencher meetings and the annual general meeting; (g) planning of Bencher meetings or retreats held to consider a policy development schedule for the Benchers; (h) assisting the Benchers and the Executive Director on establishing relative priorities for the assignment of Society financial, staff and volunteer resources; (i) providing constructive performance feedback to the President; (j) recommending to the appointing bodies on Law Society appointments to outside bodies; (k) determining the date, time and locations for the annual general meeting; (l) overseeing Bencher elections in accordance with Division 1 of this Part; (m) appointing members of the Board of Governors of the Foundation under section 59 [Board of Governors]; [06/2018] 39

14 Law Society Rules (n) deciding matters referred by the Executive Director under Rule [Referral to Executive Committee]; (o) declaring that a financial institution is not or ceases to be a savings institution under Rule 3-57 [Removal of designation]; (p) adjudicating claims for unclaimed trust funds under Rule 3-91 [Adjudication of claims]; (q) other functions authorized or assigned by these rules or the Benchers. Division 3 Law Society Rules Act, Rules and Handbook 1-52 The Executive Director must provide each lawyer and each articled student with a copy of the Legal Profession Act, all rules made by the Benchers, and the Code of Professional Conduct. 40 [06/2018]

15 Part 2 Membership and Authority to Practise Law Annual practice declaration Member information 2-8 (1) In this rule, declaration means the Annual Practice Declaration in a form approved by the Executive Committee. Definitions (2) A practising lawyer must complete and deliver a declaration to the Executive Director in each calendar year. (3) A declaration is not delivered under this rule unless it is (a) complete to the satisfaction of the Executive Director, (b) received by the Executive Director by the date set by the Executive Director, and (c) signed by the practising lawyer. (4) The Executive Director must not issue a practising certificate to a lawyer who fails to deliver a declaration as required under this rule, unless the Credentials Committee directs otherwise. 2-9 In Rules 2-10 [Business address] and 2-11 [Residential address], address includes (a) the name under which a lawyer carries on business, and (b) street address, including suite number if applicable, and mailing address, if that is different from the street address; contact information includes the following for the purpose of a lawyer receiving communication from the Society, including confidential communication: (a) a telephone number; (b) an address; place of practice includes (a) a lawyer s chief place of practice or employment, including the residence of a lawyer who carries on a law practice from the lawyer s residence, and (b) any other location from which a lawyer conducts the practice of law or is held out to conduct the practice of law. Business address 2-10 A lawyer must advise the Executive Director of the address and contact information of all of the lawyer s places of practice and inform the Executive Director immediately of a change of address or contact information of any of the lawyer s places of practice. Residential address 2-11 A lawyer who does not carry on the practice of law must advise the Executive Director of the address and contact information of the lawyer s residence and any change in the address and contact information of the lawyer s residence. [06/2018] 43

16 Law Society Rules Practice history 2-12 (1) In this rule, practice history means a record of (a) the dates and places that a lawyer or former lawyer has practised law or been enrolled in the admission program, including the name of the firms through which the lawyer or former lawyer practised law, and (b) dates of any periods since call and admission during which the lawyer or former lawyer has been a non-practising or retired member or a former member. (2) At the request of any person, the Executive Director may disclose all or part of the practice history of any member or former member of the Society. Definitions and application Law firms (1) In Rules to deliver means to deliver to the Executive Director; designated representative means a practising lawyer designated by a law firm under Rule ; registration form means a form required under Rule completed to the satisfaction of the Executive Director; self-assessment report means a report required under Rule in a form approved by the Executive Committee completed to the satisfaction of the Executive Director. Registration (2) Rules to do not apply to (a) a public body such as government or a Crown corporation, (b) a corporation that is not a law corporation, or (c) a law corporation that provides legal services solely as part of another law firm as a partner, associate or employee of the firm (1) A law firm that is engaged in the practice of law on May 1, 2018 or commences or resumes engaging in the practice of law after that date must deliver a registration form within 30 days. (2) A law firm must inform the Executive Director immediately of a change of any information included in the registration form. 44 [06/2018]

17 Part 2 Membership and Authority to Practise Law Self-assessment report (1) From time to time, the Executive Director may require a law firm to complete and deliver a self-assessment report. Late delivery (2) The Executive Director must notify the law firm of the requirement to deliver a selfassessment report at least 3 months before the date on which the Executive Director requires the law firm to deliver it. (3) All information and documents received by the Society under this rule are confidential, and no person is permitted to disclose them to any person. (4) Despite subrule (3), the Society may use information and documents received under this rule only for the purpose of statistical and other analysis regarding the practice of law (1) A law firm that fails to deliver a document required under Rule [Registration] or [Self-assessment report] by the time that it is due is deemed to have been in compliance with the rules if the law firm does the following within 60 days: (a) deliver the document required; (b) pay the late delivery fee specified in Schedule 1. (2) A law firm that fails to deliver a document required under Rule [Registration] or [Self-assessment report] beyond 60 days from the time that it is due is in breach of the rules and must immediately do the following: (a) deliver the document required; (b) pay the late delivery fee specified in Schedule 1; (c) pay an additional late delivery fee specified in Schedule 1. Designated representative (1) A law firm that is engaged in the practice of law must designate as its designated representative one or more practising lawyers engaged in the practice of law as members of the law firm. (2) A law firm that is engaged in the practice of law on May 1, 2018 or commences or resumes engaging in the practice of law after that date must notify the Executive Director of the designation of designated representative as part of the registration process under Rule [Registration]. (3) A law firm that changes its designation of designated representative must inform the Executive Director within 7 days. (4) A designated representative must respond promptly and completely to any communication from the Society. [06/2018] 44.1

18 Law Society Rules (5) A designated representative (a) is not responsible for a disciplinary violation by a law firm as a result of being a designated representative, and (b) must not knowingly or recklessly provide false or inaccurate information in any form or report required under Rules to Paralegals Supervision of limited number of designated paralegals 2-13 (1) In this rule, designated paralegal means an individual permitted under section 6.1 [Supervision] of the Code of Professional Conduct to give legal advice and represent clients before a court or tribunal. (2) A lawyer must not supervise more than 2 designated paralegals at one time. Unauthorized practice of law Unauthorized practice 2-14 (1) A lawyer must not knowingly facilitate by any means the practice of law by a person who is not a practising lawyer or otherwise permitted to practise law under sections 15 to 17 or Rule 2-39 [Conditions for MDP]. (2) Without limiting subrule (1), a lawyer must not knowingly do any of the following: (a) act as an agent or permit his or her name to be used or held out in any way that enables a person to engage in the unauthorized practice of law; (b) send a process or other document to a person or do any other act that enables a person to engage in the unauthorized practice of law; (c) open or maintain an office for the practice of law unless the office is under the personal and actual control and management of a practising lawyer. (3) When the Society obtains a court order or an agreement restraining a person who is not a practising lawyer from the practice of law, the Executive Director may publish generally a summary of the circumstances and of the order or agreement, in a form that appears appropriate to the Executive Director [06/2018]

19 Part 2 Membership and Authority to Practise Law Reinstatement of former lawyer Reinstatement 2-85 (1) A former lawyer may apply for reinstatement as a member of the Society by delivering the following to the Executive Director: (a) an application for reinstatement in a form approved by the Credentials Committee, including written consent for the release of relevant information to the Society; (b) the appropriate application fee specified in Schedule 1. (2) An applicant for reinstatement may apply for the following status on reinstatement: (a) practising lawyer, only if the applicant has met the conditions for practising law under Rule 2-89 [Returning to practice after an absence]; (b) non-practising member on compliance with Rule 2-3 [Non-practising members]; (c) retired member if the lawyer is qualified under Rule 2-4 (1) [Retired members] and on compliance with Rule 2-4 (2) and (3). (3) On an application under subrule (2) (c), the Executive Director may waive payment of all or part of the application fee on any conditions that the Executive Director considers appropriate. (4) The Executive Director may issue a practising certificate to an applicant on reinstatement on payment of the following: (a) the prorated practice fee specified in Schedule 2; (b) the prorated annual insurance fee specified in Schedule 2, unless exempt under Rule 3-43 [Exemption from professional liability insurance]; (c) any surcharge for which the lawyer is liable under Rule 3-44 (2) [Deductible, surcharge and reimbursement]. (5) The Executive Director may issue a non-practising or retired member certificate to an applicant on reinstatement on payment of the appropriate prorated fee specified in Schedule 3. (6) Subject to subrule (7), the Executive Director must consider an application for reinstatement of a former lawyer and may conduct or authorize any person to conduct an investigation concerning the application. [06/2018] 85

20 Law Society Rules (7) The Executive Director must not consider an application for reinstatement of a former lawyer unless the former lawyer has (a) submitted all trust reports required under Rules 3-79 [Trust report] and 3-84 (1) [Former lawyers], (b) paid all assessments accrued under Rule 3-80 [Late filing of trust report] before and after the former lawyer ceased to be a member of the Society unless the Executive Director waives all of the assessments under Rule 3-80 (3) and any conditions have been fulfilled, and (c) paid all costs of trust reports ordered under Rule 3-81 (6) [Failure to file trust report]. (8) If an applicant for reinstatement is a disbarred lawyer, the Executive Director must refer the application to the Credentials Committee. (9) On an application for reinstatement to which subrules (7) and (8) do not apply, the Executive Director may (a) reinstate the applicant without conditions or limitations, or (b) refer the application to the Credentials Committee for consideration. (10) Subject to subrule (11), when the Executive Director refers an application for reinstatement to the Credentials Committee under subrule (9), the Committee may (a) reinstate the applicant without conditions or limitations, (b) reinstate the applicant with conditions or limitations on the applicant s practice if the applicant consents in writing to those conditions or limitations, or (c) order a hearing. (11) The Credentials Committee must order a hearing in the following circumstances: (a) section 19(3) applies; (b) the Committee cannot reach another disposition of the matter under subrule (10); (c) the Committee resolves to order a hearing. (12) An applicant for reinstatement must give written notice of the application as directed by the Executive Director, and persons so notified may appear in person or by counsel at the hearing and be heard on the application. Subsequent application for reinstatement 2-86 A person whose application for reinstatement is rejected under section 22 (3) [Credentials hearings] may not make a new application for reinstatement until the earlier of the following: (a) 2 years after the date on which the application was rejected; (b) the date set by the panel when the application was rejected or by the review board on a review under Part 5 [Hearings and appeals]. 86 [06/2018]

21 Part 2 Membership and Authority to Practise Law Publication of credentials decision (1) Subject to Rule [Anonymous publication], the Executive Director may publish and circulate to the profession a summary of the circumstances and of any final or interlocutory decision of a hearing panel or review board on an application under this division and the reasons given for the decision. (2) If a disbarred lawyer is reinstated after a hearing, the Executive Director must publish and circulate to the profession a summary of the circumstances of the decision of the hearing panel and the reasons given for the decision. (3) When a publication is allowed under subrule (1), the Executive Director may also publish generally (a) a summary of the circumstances of the decision of the hearing panel or review board and the reasons given for the decision, or (b) all or part of the written reasons for the decision. (4) This rule must not be interpreted to permit the disclosure of any information subject to solicitor and client privilege or confidentiality. Anonymous publication (1) Except as required or allowed under this rule, a publication under Rule [Publication of credentials decision] must identify the applicant. (2) If the application that is the subject of the hearing is rejected, the publication must not identify the applicant unless the applicant consents in writing. (3) The panel may order that publication not identify the applicant if (a) the application is approved without conditions or limitations on the practice or articles of the applicant, and (b) publication will cause grievous harm to the applicant or another identifiable individual that outweighs the interest of the public and the Society in full publication. (4) An applicant may apply to the panel for an order under subrule (3) (a) in writing or on the record in the course of a hearing, and (b) no later than 7 days after the written decision is issued or oral reasons delivered. (5) The Executive Director must not publish under Rule [Publication of credentials decision] until (a) 7 days after a written decision is issued or oral reasons given, unless the applicant waives the right to apply under subrule (4), or (b) an application under subrule (4) is resolved or withdrawn. [06/2018] 95

22 Law Society Rules (6) If a panel orders that an applicant s identity not be disclosed under subrule (3), the panel must state in writing the specific reasons for that decision. (7) If, on a review of a panel decision rejecting an application, the review board approves the application, the applicant may apply to the review board under subrule (4), and subrules (3) to (6) apply as if the review board were a panel. Annual practising fees Division 3 Fees and Assessments (1) The annual practising fee and insurance fee are payable in respect of each calendar year. Assessments (2) The date for payment of the annual practising fee and first insurance fee instalment is November 30 of the year preceding the year for which they are payable (1) The Benchers may, by resolution, set a special assessment of all (a) practising lawyers, (b) practising lawyers and applicants, (c) members of the Society, or (d) members of the Society and applicants. (2) A resolution under subrule (1) must set a date by which the assessment must be paid. Application fees On application from a person who has paid an application fee under these rules, the Executive Director may refund all or part of the fee if, in the view of the Executive Director, it is fair to make the refund in all the circumstances, including the extent to which Society resources have been expended to process the application for which the fee was paid. Late payment (1) A lawyer who fails to pay fees by the date required under Rule [Annual practising fees] but pays all required fees before December 31 of the year preceding the year for which they are payable, together with the late payment fee under this rule, continues to be a member of the Society. 96 [06/2018]

23 PART 3 PROTECTION OF THE PUBLIC Application Division 1 Complaints 3-1 This division applies to the following as it does to a lawyer, with the necessary changes and so far as it is applicable: (a) a former lawyer; (b) an articled student; (c) a visiting lawyer permitted to practise law in British Columbia under Rules 2-16 to 2-20; (d) a practitioner of foreign law; (e) a law firm. Complaints 3-2 Any person may deliver a written complaint against a lawyer or law firm to the Executive Director. Confidentiality of complaints 3-3 (1) No one is permitted to disclose any information or records that form part of the investigation of a complaint or the review of a complaint by the Complainants Review Committee except for the purpose of complying with the objectives of the Act or with these rules. (2) Despite subrule (1), the Executive Director may do any of the following: (a) disclose information referred to in subrule (1), with the consent of the lawyer who is the subject of the complaint; (b) if a complaint has become known to the public, disclose (i) the existence of the complaint, (ii) its subject matter, (iii) its status, including, if the complaint is closed, the general basis on which it was closed; and (iv) any additional information necessary to correct inaccurate information; (c) if, in the course of the investigation of a complaint, a lawyer has given an undertaking to the Society that restricts, limits or prohibits the lawyer s practice of law, disclose the fact that the undertaking was given and its effect on the lawyer s practice. [06/2018] 101

24 Law Society Rules (3) For the purpose of subrule (2) (b), the status of a complaint is its stage of progress through the complaints handling process, including, but not limited to the following: (a) opened; (b) under investigation; (c) referred to a Committee; (d) closed. (4) If the Executive Director discloses the existence of an undertaking under subrule (2) (c) by means of the Society s website, the information must be removed from the website within a reasonable time after the undertaking ceases to be in force. (4.1) Despite subrule (1), the Executive Director may disclose any information concerning a complaint to a designated representative of a law firm in which the lawyer who is the subject of the complaint engages in the practice of law. (5) Despite subrule (1), with the consent of the Discipline Committee, the Executive Director may deliver to a law enforcement agency any information or documents that the Committee reasonably believes may be evidence of an offence. (6) This division must not be interpreted to permit the disclosure of any information subject to solicitor and client privilege or confidentiality. Consideration of complaints and other information 3-4 (1) The Executive Director must consider every complaint received under Rule 3-2 [Complaints]. (2) Information received from any source that indicates that a lawyer s conduct may constitute a discipline violation must be treated as a complaint under these rules. Investigation of complaints 3-5 (1) Subject to subrule (3), the Executive Director may, and on the instruction of the Discipline Committee must, investigate a complaint to determine its validity. (2) For the purpose of conducting an investigation under this division and section 26 [Complaints from the public], the Executive Director may designate an employee of the Society or appoint a practising lawyer or a person whose qualifications are satisfactory to the Executive Director. (3) The Executive Director may decline to investigate a complaint if the Executive Director is satisfied that the complaint (a) is outside the jurisdiction of the Society, (b) is frivolous, vexatious or an abuse of process, or (c) does not allege facts that, if proven, would constitute a discipline violation. (4) The Executive Director must deliver to the lawyer who is the subject of a complaint a copy of the complaint or, if that is not practicable, a summary of it. 102 [06/2018]

25 Part 3 Protection of the Public (5) Despite subrule (4), if the Executive Director considers it necessary for the effective investigation of the complaint, the Executive Director may delay notification of the lawyer. (6) When acting under subrule (4), the Executive Director may decline to identify the complainant or the source of the complaint. (7) A lawyer must co-operate fully in an investigation under this division by all available means including, but not limited to, responding fully and substantively, in the form specified by the Executive Director (a) to the complaint, and (b) to all requests made by the Executive Director in the course of an investigation. (8) When conducting an investigation of a complaint, the Executive Director may (a) require production of files, documents and other records for examination or copying, (b) require a lawyer to (i) attend an interview, (ii) answer questions and provide information relating to matters under investigation, or (iii) cause an employee or agent of the lawyer to answer questions and provide information relating to the investigation, (c) enter the business premises of a lawyer (i) during business hours, or (ii) at another time by agreement with the lawyer. (9) Any written response under subrule (7) must be signed by (a) the lawyer personally, or (b) a representative of the law firm, if the complaint is about a law firm. (10) The Executive Director may deliver to the complainant a copy or a summary of a response received from the lawyer, subject to solicitor and client privilege and confidentiality. (11) A lawyer who is required to produce files, documents and other records, provide information or attend an interview under this rule must comply with the requirement (a) even if the information or files, documents and other records are privileged or confidential, and (b) as soon as practicable and, in any event, by the time and date set by the Executive Director. [06/2018] 103

26 Law Society Rules Failure to produce records on complaint investigation 3-6 (1) Subject to subrules (2) and (3), a lawyer who is required under Rule 3-5 [Investigation of complaints] or 4-55 [Investigation of books and accounts] to produce and permit the copying of files, documents and other records, provide information or attend an interview and answer questions and who fails or refuses to do so is suspended until he or she has complied with the requirement to the satisfaction of the Executive Director. (2) When there are special circumstances, the Discipline Committee may, in its discretion, order that (a) a lawyer not be suspended under subrule (1), or (b) a suspension under this rule be delayed for a specified period of time. (3) At least 7 days before a suspension under this rule can take effect, the Executive Director must deliver to the lawyer notice of the following: (a) the date on which the suspension will take effect; (b) the reasons for the suspension; (c) the means by which the lawyer may apply to the Discipline Committee for an order under subrule (2) and the deadline for making such an application before the suspension is to take effect. Resolution by informal means 3-7 The Executive Director may, at any time, attempt to resolve a complaint through mediation or other informal means. Action after investigation 3-8 (1) After investigating a complaint, the Executive Director must take no further action if the Executive Director is satisfied that the complaint (a) is not valid or its validity cannot be proven, or (b) does not disclose conduct serious enough to warrant further action. (2) The Executive Director may take no further action on a complaint if the Executive Director is satisfied that the matter giving rise to the complaint has been resolved. (3) Unless subrule (1) applies or the Executive Director takes no further action under subrule (2), the Executive Director must refer the complaint to the Practice Standards Committee or to the Discipline Committee. 104 [06/2018]

27 Part 3 Protection of the Public (6) Subject to the Act and these rules, the Benchers present at a proceeding may determine the practice and procedure to be followed. (7) Unless the Benchers present order otherwise, the proceeding is not open to the public. (8) The lawyer or articled student or discipline counsel may request an adjournment of a proceeding conducted under this rule. (9) Rule 4-40 [Adjournment] applies to an application for an adjournment made before the commencement of the proceeding as if it were a hearing. (10) Despite subrule (9), the Executive Director is not required to notify a complainant of a request made under subrule (8). (11) After a proceeding has commenced, the Benchers present may adjourn the proceeding, with or without conditions, generally or to a specified date, time and place. (12) On the application of the lawyer or articled student or discipline counsel, the Benchers who made the order, or a majority of them, may rescind or vary an order made or previously varied under this rule. (13) On an application under subrule (12) to vary or rescind an order, (a) both the lawyer or articled student and discipline counsel must be given a reasonable opportunity to make submissions in writing, and (b) the Benchers present may allow oral submissions if, in their discretion, it is appropriate to do so. (14) If, for any reason, any of the Benchers who made an order under this rule is unable to participate in the decision on an application under subrule (12), the President may assign another Bencher who is not a member of the Discipline Committee to participate in the decision in the place of each Bencher unable to participate. Appointment of Complainants Review Committee 3-13 (1) For each calendar year, the President must appoint a Complainants Review Committee. (2) If one or more Benchers have been appointed under section 5 [Appointed benchers], the President must appoint at least one of the appointed Benchers to the Complainants Review Committee. [06/2018] 107

28 Law Society Rules Review by Complainants Review Committee 3-14 (1) A complainant may apply to the Complainants Review Committee for a review of a decision by the Executive Director under Rule 3-8 [Action after investigation] to take no further action after investigating a complaint. (2) To initiate a review under subrule (1), the complainant must apply to the Complainants Review Committee within 30 days after the decision is communicated to the complainant. (3) The chair of the Complainants Review Committee may extend the time for applying for a review under subrule (2) in extraordinary circumstances beyond the control of the complainant. (4) The Complainants Review Committee must (a) review the documents obtained, collected or produced by the Executive Director under Rules 3-4 to 3-9, and (b) on the direction of an appointed Bencher member of the Committee, make enquiries of the complainant, the lawyer or any other person. (5) After its review and enquiries, the Complainants Review Committee must do one of the following: (a) confirm the Executive Director s decision to take no further action; (b) refer the complaint to the Practice Standards Committee or to the Discipline Committee with or without recommendation; (c) direct the Executive Director to conduct further investigation of the complaint to determine its validity. (6) The chair of the Complainants Review Committee must notify the complainant, the lawyer and the Executive Director, in writing, of the Committee s decision under subrule (5) and the reasons for that decision. (7) If the Complainants Review Committee keeps minutes of its consideration of a complaint, the Executive Director may disclose all or part of the minutes to the complainant or the lawyer concerned. Practice Standards Committee Division 2 Practice Standards 3-15 (1) For each calendar year, the President must appoint a Practice Standards Committee, including a chair and vice chair, both of whom must be Benchers (2) The President may remove any person appointed under subrule (1). (3) At any time, the President may appoint a person to the Practice Standards Committee to replace a Committee member who resigns or otherwise ceases membership in the Committee, or to increase the number of members of the Committee. 108 [06/2018]